Tag: investment advisers

A key focus of the Commission and its Enforcement program is retail investors. This has resulted, in part, in a significant number of actions against investment advisers. This week is no exception. Four settled actions were brought based on the…

Since at least the issuance of the report by the Commission’s Enforcement Division last November, the emphasis has been on retail investors and cyber. The “number of cases filed” focus of broken windows, which for years generated increasing numbers of…